Rolls-Royce Holdings plc Holding(s) in Company (5575B)
08 Ottobre 2020 - 4:56PM
UK Regulatory
TIDMRR. TIDM42SB
RNS Number : 5575B
Rolls-Royce Holdings plc
08 October 2020
Rolls-Royce Holdings plc
TR-1: S tandard form for notification of major holdings
NOTIFICATION OF MAJOR HOLDINGS (to be sent to the relevant issuer and
to the FCA in Microsoft Word format if possible) (i)
1a. Identity of the issuer or the Rolls-Royce Holdings plc
underlying issuer of existing shares
to which voting rights are attached
(ii) :
----------------------------------------------
1b. Please indicate if the issuer is a non-UK issuer (please mark with
an "X" if appropriate)
Non-UK issuer
----
2. Reason for the notification (please mark the appropriate box or boxes
with an "X")
An acquisition or disposal of voting rights X
----
An acquisition or disposal of financial instruments X
----
An event changing the breakdown of voting rights
----
Other (please specify)(iii) :
----
3. Details of person subject to the notification obligation (iv)
Name The Goldman Sachs Group, Inc.
City and country of registered office Corporation Trust Center, 1209 Orange
(if applicable) Street,
Wilmington DE 19801, USA
4. Full name of shareholder(s) (if different from 3.) (v)
Name
----------------------------------------------
City and country of registered office
(if applicable)
----------------------------------------------
5. Date on which the threshold was 02/10/2020
crossed or reached (vi) :
----------------------------------------------
6. Date on which issuer notified (DD/MM/YYYY): 06/10/2020
----------------------------------------------
7. Total positions of person(s) subject to the notification obligation
% of voting % of voting rights Total of both Total number
rights attached through financial in % (8.A + of voting rights
to shares (total instruments 8.B) of issuer (vii)
of 8. A) (total of 8.B
1 + 8.B 2)
------------------ ---------------------- --------------- --------------------
Resulting situation
on the date
on which threshold
was crossed
or reached 2.96% 0.20% 3.15% 1,930,995,313
------------------ ---------------------- --------------- --------------------
Position of n/a n/a n/a
previous notification
(if
applicable)
------------------ ---------------------- --------------- --------------------
8. Notified details of the resulting situation on the date on which
the threshold was crossed or reached (viii)
A: Voting rights attached to shares
Class/type of Number of voting rights % of voting rights
shares (ix)
ISIN code (if
possible)
Direct Indirect Direct Indirect
(Art 9 of (Art 10 of Directive (Art 9 of Directive (Art 10 of Directive
Directive 2004/109/EC) 2004/109/EC) (DTR5.1) 2004/109/EC)
2004/109/EC) (DTR5.2.1) (DTR5.2.1)
(DTR5.1)
-----------------------------
GB00B63H8491 56,973,215 2.95%
-------------------- ----------------------------- ------------------------- ---------------------
US7757812067 94,334 0.005%
-------------------- ----------------------------- ------------------------- ---------------------
SUBTOTAL 8. A 57,067,549 2.96%
--------------------------------------------------- ------------------------------------------------
B 1: Financial Instruments according to Art. 13(1)(a) of Directive 2004/109/EC
(DTR5.3.1.1 (a))
Type of financial Expiration Exercise/ Number of voting % of voting
instrument date Conversion Period rights that may rights
(x) (xi) be acquired if
the instrument
is
exercised/converted.
----------- ------------------------------- -------------------------------- ---------------------
Securities
Lending Open 1,088,893 0.06%
----------- ------------------------------- -------------------------------- ---------------------
SUBTOTAL 8. B 1 1,088,893 0.06%
------------------------------- -------------------------------- ---------------------
B 2: Financial Instruments with similar economic effect according to
Art. 13(1)(b) of Directive 2004/109/EC (DTR5.3.1.1 (b))
Type of Expiration Exercise/ Physical or Number of % of voting
financial date (x) Conversion cash voting rights rights
instrument Period (xi) settlement
(xii)
--------------- -------------------- --------------------- --------------------
Refer to the
annexure
--------------- -------------------- --------------------- --------------------
SUBTOTAL 8.B.2 2,760,891 0.14%
--------------------- --------------------
9. Information in relation to the person subject to the notification
obligation (please mark the
applicable box with an "X")
Person subject to the notification obligation is not controlled
by any natural person or legal entity and does not control any other
undertaking(s) holding directly or indirectly an interest in the
(underlying) issuer (xiii)
Full chain of controlled undertakings through which the voting rights X
and/or the
financial instruments are effectively held starting with the ultimate
controlling natural person or legal entity (xiv) (please add additional
rows as necessary)
Name (xv) % of voting rights % of voting rights Total of both if
if it equals or through financial it equals or is
is higher than the instruments if it higher than the
notifiable threshold equals or is higher notifiable threshold
than the notifiable
threshold
---------------------- --------------------- ------------------------
The Goldman Sachs
Group, Inc.
---------------------- --------------------- ------------------------
IMD Holdings LLC
---------------------- --------------------- ------------------------
United Capital Financial
Partners, Inc.
---------------------- --------------------- ------------------------
United Capital Financial
Advisers, LLC
---------------------- --------------------- ------------------------
The Goldman Sachs
Group, Inc.
---------------------- --------------------- ------------------------
Goldman Sachs &
Co. LLC
---------------------- --------------------- ------------------------
The Goldman Sachs
Group, Inc.
---------------------- --------------------- ------------------------
GSAM Holdings LLC
---------------------- --------------------- ------------------------
Goldman Sachs Asset
Management, L.P.
---------------------- --------------------- ------------------------
The Goldman Sachs
Group, Inc.
---------------------- --------------------- ------------------------
Goldman, Sachs &
Co. Wertpapier GmbH
---------------------- --------------------- ------------------------
The Goldman Sachs
Group, Inc.
---------------------- --------------------- ------------------------
Folio Financial,
Inc.
---------------------- --------------------- ------------------------
Folio Investments
Inc.
---------------------- --------------------- ------------------------
10. In case of proxy voting, please identify:
Name of the proxy holder N/A
-----------------------------------------------
The number and % of voting rights N/A
held
-----------------------------------------------
The date until which the voting rights N/A
will be held
-----------------------------------------------
11. Additional information (xvi)
Please note, the total amount of voting rights has been rounded to 2
decimal places therefore there is a possibility of a rounding error.
General email contact:
gs-regops-emea-position-enquiries@gs.com
Place of completion London
Date of completion 06/10/2020
-----------
Annexure
B 2: Financial Instruments with similar economic effect according to
Art. 13(1)(b) of Directive 2004/109/EC (DTR5.3.1.1 (b))
Type of Expiration Exercise/Conversion Physical or Number of % of voting
financial date(x) period(xi) cash voting rights rights
instrument settlement(xii)
------------ --------------------- ----------------- -------------------------------------------------------------------------- ------------
Put Warrant 31/12/2030 Cash 1,305,268 0.07%
----------------------------------- ---------------- -------------------------------------------------------------------------- ------------
Put Warrant 31/12/2030 Cash 789,136 0.04%
----------------------------------- ---------------- -------------------------------------------------------------------------- ------------
Swap 22/12/2020 Cash 346,231 0.02%
----------------------------------- ---------------- -------------------------------------------------------------------------- ------------
Swap 05/10/2020 Cash 70,149 0.004%
----------------------------------- ---------------- -------------------------------------------------------------------------- ------------
Put Warrant 31/12/2030 Cash 58,000 0.003%
----------------------------------- ---------------- -------------------------------------------------------------------------- ------------
Swap 17/11/2020 Cash 40,681 0.002%
----------------------------------- ---------------- -------------------------------------------------------------------------- ------------
Swap 31/12/2030 Cash 31,254 0.002%
----------------------------------- ---------------- -------------------------------------------------------------------------- ------------
Put Warrant 31/12/2030 Cash 27,000 0.001%
----------------------------------- ---------------- -------------------------------------------------------------------------- ------------
Put Warrant 31/12/2030 Cash 25,000 0.001%
----------------------------------- ---------------- -------------------------------------------------------------------------- ------------
Swap 31/12/2030 Cash 20,000 0.001%
----------------------------------- ---------------- -------------------------------------------------------------------------- ------------
Swap 31/12/2030 Cash 17,433 0.001%
----------------------------------- ---------------- -------------------------------------------------------------------------- ------------
Swap 31/12/2030 Cash 14,000 0.001%
----------------------------------- ---------------- -------------------------------------------------------------------------- ------------
Put Warrant 06/10/2020 Cash 8,000 0.0004%
----------------------------------- ---------------- -------------------------------------------------------------------------- ------------
Swap 31/12/2030 Cash 5,739 0.0003%
----------------------------------- ---------------- -------------------------------------------------------------------------- ------------
Put Warrant 31/12/2030 Cash 3,000 0.0002%
----------------------------------- ---------------- -------------------------------------------------------------------------- ------------
Total Number of voting rights and percentage of voting
rights 2,760,891 0.14%
-------------------------------------------------------------------------- ------------
Additional information: Please note, total amount of voting rights have
been rounded to 2 decimal places therefore there is a possibility of
a rounding error.
Name of authorised officer of issuer responsible for making notification:
P amela Coles
Date of notification: 8 October 2020
L EI: 213800EC7997ZBLZJH69
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END
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October 08, 2020 10:56 ET (14:56 GMT)
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